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ASSOCIATE
Summary
Experienced professional with a proven track record of creating and growing successful business lines and extensive experience with U.S. and international capital markets. Passionate and driven individual with exceptional ability to build relationships and work with teams to foster business growth and development.
Skills
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Experience
Associate07/2017 to CurrentMaximus, Inc.Suitland , MD
- Experienced Capital Markets professional with deep corporate services, private company, and wealth management expertise.
- Drove growth in all business lines including At-the-Market Offering, Corporate Share Repurcahse Programs, Rule 10b5-1 plans for both individuals and companies, 144 trades, Directed Share Programs, financial sponsor liquidations and Equity compensation Plans.
- Advanced experience in the handling of confidential high profile trades, including leading BrainStorm Cell Therapeutics' publicly announced At-the-Market Offering (ATM) program. This engagement represented the most significant biotechnology/pharmaceutical ATM offering for Raymond James and enhanced the business' profile among biotech/pharma ATM issuers - a $265 billion market
- Routinely and successfully engaged with C-Suite executives on their personal equity compensation transactions and many times converted those engagements into larger corporate level business opportunities as well as broader personal wealth management business.
- Responsible for business development plans as well as client marketing materials and strategy.
Manager07/2014 to 07/2017Guest Services, Inc.Phoenix , AZ
- Collaborated with personnel in U.S., Canada, Europe, Argentina and Uruguay to coordinate various cross border Investment Banking, Syndicate/ECM, Asset Management and Private Banking activities.
- Executed May 2016 $280mm International IPO of Argentine financial group, Grupo Supervielle (SUPV).
- Managed U.S. due diligence process as well as coordinated cross border transaction with U.S. Syndicate and Investment Banking teams.
- Managed relationship with Joint Venture (JV) partners and supported all aspects of business with goal to promote growth and create value for JV partners.
- Collaborated with JV partners on human resource management matters, including recruiting/hiring, evaluation of staff performance, and compensation decisions at international locations.
- Served as Raymond James' main point of contact for JV employees, regulators and external business partners (e.g., attorneys, consultants, etc.).
- Led, negotiated, and executed Raymond James' Latin American divestiture in which Raymond James' share of equity in JVs was sold to local partners.
- Liaison for projects with cross-functional teams (both domestic and international) and served as problem solving / escalation point for cross-functional issues requiring senior management attention
Senior Internal Auditor10/2011 to 07/2014American Modern Insurance GroupMinneapolis , MN
- Identified and assessed business risks associated with in assigned business processes and performed design reviews to identify key mitigating controls.
- Prepared written reports and communicated recommendations for enhanced risk management.
- Developed quarterly reports to present to firm's Enterprise Risk Management Committee and Audit Committee.
- Collaborated with company's Sarbanes Oxley Internal Control Owners, quarterly, to document material financial changes to design of assigned controls.
- Promoted from Experienced Internal Auditor to Senior Internal Auditor in June 2012.
Compliance Advisor03/2008 to 10/2011ExperianAllen , TX
- Provided advice to RJFS branches and staff regarding compliance issues.
- Conducted examinations of RJFS branch offices to ensure adherence to standard operating procedures and firm/industry rules and regulations.
- Collaborated with branch office staff to develop work plans, documentation, and processes to improve compliance with regulation.
- Collaborated with peers and members from other departments on projects to improve examination processes.
- Trained new compliance staff on branch examination process.
Education and Training
Bachelor of Science: Finance2008University Of South FloridaCity
Certifications
- CFA Institute Passed Level I of CFA Program, 2015
- Series 7, General Securities Representative, 2008
- Series 24, General Securities Principal, 2010
- Series 57, General Securities Trader, 2018
- Series 66, Registered Agent and Investment Advisor, 2012
- Series 79, Investment Banking Representative, 2015
Websites, Portfolios, Profiles
- linkedin.com/in/omar-de-la-rosa-67b5b017
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Resume Overview
School Attended
- University Of South Florida
Job Titles Held:
- Associate
- Manager
- Senior Internal Auditor
- Compliance Advisor
Degrees
- Bachelor of Science : Finance 2008
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